Common use of Customer Complaint Reporting and Customer Notification Clause in Contracts

Customer Complaint Reporting and Customer Notification. Broker authorizes and instructs Pershing to forward promptly, to the extent required by applicable law or regulation, any written customer complaint received by Pershing regarding Broker and/or its associated persons relating to functions and responsibilities allocated to Broker under this Agreement to a) Broker and b) Broker’s DEA designated under Section 17 of the Securities and Exchange Act of 1934, as amended, or, if none, to Broker’s appropriate regulatory agency or authority. Further, to the extent required by applicable law or regulation, Broker authorizes Pershing to notify the customer, in writing, that Pershing has received the complaint, and the complaint has been forwarded to the Broker and the Broker’s DEA (or, if none, to the appropriate regulatory agency).

Customer Complaint Reporting and Customer Notification. Broker authorizes and instructs Pershing to forward promptly, to the extent required by applicable law or regulation, promptly any written customer complaint received by Pershing regarding Broker and/or its associated persons relating to functions and responsibilities allocated to Broker under this Agreement to a) Broker and b) Broker’s DEA 's designated examining authority ("DEA") designated under Section 17 of the Securities and Exchange Act of 1934, as amended, or1933 -or, if none, to Broker’s 's appropriate regulatory agency or authority. Further, to the extent required by applicable law or regulation, Broker authorizes Pershing to notify the customer, in in-writing, that Pershing has received the complaint, and the complaint has been forwarded to the Broker and the Broker’s 's DEA (or, if none, to the appropriate regulatory agency).

Customer Complaint Reporting and Customer Notification. Broker authorizes and instructs Pershing to forward promptly, to the extent required by applicable law or regulation, any written customer complaint received by Pershing regarding Broker and/or its associated persons relating to functions and responsibilities allocated to Broker under this Agreement to a) Broker and b) Broker’s DEA designated under Section 17 of the Securities and Exchange Act of 1934, as amended, or, if none, to Broker’s appropriate regulatory agency or authority. Further, to the extent required by applicable law or regulation, Broker authorizes Pershing to notify the customer, in writing, that Pershing has received the complaint, and the complaint has been forwarded to the Broker and the Broker’s DEA (or, if none, to the appropriate regulatory agency).. Pg. 24

Customer Complaint Reporting and Customer Notification. Broker authorizes and instructs Pershing to forward promptly, to the extent required by applicable law or regulation, promptly any written customer complaint received by Pershing regarding Broker and/or its associated persons relating to functions and responsibilities allocated to Broker under this Agreement to a) Broker and b) Broker’s DEA designated under Section 17 of the Securities and Exchange Act of 1934, as amended, or, if none, to Broker’s appropriate regulatory agency or authority. Further, to the extent required by applicable law or regulation, Broker authorizes Pershing to notify the customer, in writing, that Pershing has received the complaint, and the complaint has been forwarded to the Broker and the Broker’s DEA (or, if none, to the appropriate regulatory agency).